CAPITOL SECURITIES MANAGEMENT, INC. of GLEN ALLEN, VA is an SEC-registered investment adviser (CRD 14169). Regulatory assets under management: $2.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Gardner Lee | CCO-DIRECTOR OF COMPLIANCE | BIMINGHAM, AL |
| Joseph Aristotle Jianos | CHAIRMAN & CEO; SHAREHOLDER-CEO | — |
| Katherine Rose Hallberg | CHIEF COMPLIANCE OFFICER | — |
| Edward Lee Wetherell | CHIEF STRATEGY OFFICER | — |
| James Louis Wallace | CHIEF OPERATING OFFICER | — |
| Irina Zubov | DIRECTOR OF FINANCE | — |
| HAMBY MARK | CHIEF COMPLIANCE OFFICER & PRESIDENT; COO, CCO; PRESIDENT | — |
| JIANOS JOSEPH ARISTOTLE | CHAIRMAN & CEO; COCHAIRMAN & CO-CEO; COCHAIRMAN & CO-CEO , CCO (+2 more) | — |
| NANAYAKKARA JOHANN | COCHAIRMAN; COCHAIRMAN & PRESIDENT | — |
| ROTH PATRICK DANIEL | DIRECTOR OF COMPLIANCE & OPERATIONS; DIRECTOR OF OPERATIONS | — |
| ROTH JONATHAN DAVID | DIRECTOR OF OPERATIONS | — |
| DONLIN JAMES J | CHIEF OPERATING OFFICER | — |
| WALLACE JAMES LOUIS | CHIEF OPERATING OFFICER | — |
| GOFF LIA BETTENHAUSEN | CFO | — |
| MCCLURE SAMUEL LEE | SROP | — |
| BATTLES JEFFREY SCOTT | VICE PRESIDENT-DIRECTOR OF COMPLIANCE | — |
| COFFEY MARK DAVID | CHIEF COMPLIANCE OFFICER | — |
| ROKITA EDWARD DEAN | CHIEF COMPLIANCE OFFICER | — |
| HALLBERG KATHERINE ROSE | CHIEF COMPLIANCE OFFICER | — |
| WETHERELL EDWARD LEE | CHIEF STRATEGY OFFICER | — |
| SNYDER JASON ALLEN | DIRECTOR OF OPERATIONS | — |
| ZUBOV IRINA | DIRECTOR OF FINANCE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-11-05 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTION 15(B) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND SECTIONS 203(E) AND 2… | Final | $55K |
| 2020-02-14 | regulatory | FAILURE TO PROPERLY ESTABLISH, MAINTAIN, AND ENFORCE WRITTEN PROCEDURES AND FAILED TO FREQUENTLY EXAMINE ALL CUSTOMER ACCOUNTS TO DETECT AND PREVENT IRREGULARITIES OR ABUSES RELATING TO THE SECURITIES ACTIVITIES OF TWO FORMER REGISTERED REPRESENTATIVES WHO ENGAGED IN FRAUDULENT BEHAVIOR WITH CLIENTS… | Final | $75K |
| 2018-05-25 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES (WSPS) REASONABLY DESIGNED TO DETECT AND PREVENT UNSUITABLE SHORT-TERM TRADING IN UNIT… | Final | $100K |
| 2015-10-20 | regulatory | SUITABILITY OF REVERSE CONVERTIBLE NOTES AND RELATED SUPERVISORY PROCEDURES; IMPLEMENTATION OF AML PROCEDURES RELATED TO THE DEPOSIT AND SALE OF LOW PRICED SECURITIES; CIP PROCEDURES RELATED TO INSTITUTIONAL ACCOUNTS; APPLICATION OF SALES CHARGE DISCOUNTS FOR CERTAIN UIT AND MUTUAL FUND PURCHASES AN… | Final | $470K |
| — | criminal | — | — | — |
| — | regulatory | — | — | — |
Showing 15 of 29 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| RESTON | VA | 19 | 703-269-2451 |
| ROCHESTER | NY | 11 | 585-241-2001 |
| BOSTON | MA | 8 | (617) 749-0770 |
| MELVILLE | NY | 7 | 866-266-3315 |
| MARMORA | NJ | 7 | 609-545-2705 |
| CHARLOTTESVILLE | VA | 5 | 434-962-1640 |
| WILMINGTON | NC | 5 | 910-239-9220 |
| SALISBURY | MD | 5 | 443-944-8025 |
| WELLESLEY | MA | 4 | 617-897-8500 |
| TAMPA | FL | 4 | 813-755-9655 |
| GLASTONBURY | CT | 4 | 860-430-6053 |
| MARTINSVILLE | VA | 3 | 276-340-1880 |
| WORCESTER | MA | 3 | 508-791-7111 |
| MORRISTOWN | NJ | 3 | 973-514-2100 |
| TOMS RIVER | NJ | 3 | 848-238-2500 |